Surveillance Analyst - Broker Dealer Compliance

Phaxis; New Jersey; On-site; USD 130,000 - 180,000; Full time

Job summary

Phaxis is seeking a detail-oriented Compliance Surveillance Analyst to enhance risk and compliance operations. This full-time role focuses on monitoring trading activities and regulatory compliance, requiring a proactive approach and strong skills in data analysis and communication. Ideal candidates will work in a collaborative, fast-paced environment.

Qualifications

• 2-6 years of experience in financial services or regulatory agencies.
• Prior experience reviewing trading activity across various asset classes.
• Experience with data tools or programming languages (e.g., SQL, Python) is a plus.

Responsibilities

• Design and execute surveillance reviews across business lines.
• Identify areas for process improvement in surveillance workflows.
• Collaborate with teams to investigate and resolve surveillance findings.

Skills

Attention to Detail

Analytical Skills

Communication

Education

Bachelor’s Degree preferred

Tools

SQL

Python

Job description

This range is provided by Phaxis. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$130,000.00/yr - $180,000.00/yr

Direct message the job poster from Phaxis

Compliance, Fincrime, & Risk Management | Talent Acquisition, Relationship Building

We are seeking a detail-oriented Compliance Surveillance Analyst to support our risk and compliance operations. This role involves working closely with internal teams to monitor trading activity, address potential regulatory concerns, and support the development of effective solutions. The ideal candidate is proactive, solutions-driven, and thrives in a collaborative, fast-paced environment.

Key Responsibilities:

• Design and execute surveillance reviews across various business lines and subject areas.
• Partner with internal inquiry and investigative teams to support regulatory responses and internal reviews.
• Identify areas for process improvement and contribute to the automation and enhancement of surveillance workflows.
• Collaborate with trading, technology, and compliance personnel to investigate and resolve surveillance findings.
• Use data to identify behavioral patterns, risks, and trends across trading activity.

Qualifications:

• Bachelor’s degree preferred, though equivalent industry experience will also be considered.
• 2–6 years of experience in financial services, fintech, or with a regulatory agency.
• Familiarity with broker-dealer regulations and rules from the SEC, CFTC, FINRA, or other relevant regulatory bodies.
• Prior experience reviewing trading activity across multiple asset classes, such as equities, derivatives, FX, crypto, and fixed income products.
• Excellent written and verbal communication skills, with the ability to work independently and within cross-functional teams.
• Experience with data tools or programming languages (e.g., SQL, Python) is a plus.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Financial Services, Investment Banking, and Capital Markets

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